John Swift Lyle JR | Financial Professional | Mobile, Alabama | JEFFREY MATTHEWS WEALTH MANAGEMENT, LLC

Professional summary

John Swift Lyle JR is a registered financial advisor currently at JEFFREY MATTHEWS WEALTH MANAGEMENT, LLC located in Mobile, Alabama and THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C. located in Mobile, Alabama.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. John has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Swift Lyle JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 5, 2019 - Present

JEFFREY MATTHEWS WEALTH MANAGEMENT, LLC

Office #1: 5905 Airport Boulevard Ste L, Mobile, AL 36608

RIA

CRD#: 155392

Mobile, AL

Current

July 5, 2019 - Present

THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C.

Office #1: 1555 University Blvd Suite 200, Mobile, AL 36693

BD

CRD#: 41282

Mobile, AL

Past

February 29, 2016 - July 12, 2019

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA

CRD#: 793

MOBILE, AL

Past

February 29, 2016 - July 12, 2019

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD

CRD#: 793

MOBILE, AL

Past

July 1, 2003 - March 3, 2016

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

MOBILE, AL

Past

July 1, 2003 - March 3, 2016

WELLS FARGO CLEARING SERVICES, LLC

BD

CRD#: 19616

MOBILE, AL

Past

June 15, 1998 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

MOBILE, AL

Past

February 13, 1998 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

BD

CRD#: 7471

NEW YORK, NY

Past

April 23, 1990 - March 11, 1998

STERNE, AGEE & LEACH, INC.

BD

CRD#: 791

BIRMINGHAM, AL

Past

March 21, 1990 - April 3, 1990

FIRST BIRMINGHAM SECURITIES CORPORATION

BD

CRD#: 4314

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

JM

JEFFREY MATTHEWS WEALTH MANAGEMENT, LLC

CRD#: 155392 / SEC#: 801-132626

RIA

Registered Investment Advisory firm - (4/30/2025 Approved)

Alabama

Registered Investment Advisory firm - (6/27/2018 Approved)

California

Registered Investment Advisory firm - (6/20/2019 Approved)

Colorado

Registered Investment Advisory firm - (5/31/2019 Approved)

Connecticut

Registered Investment Advisory firm - (6/5/2018 Approved)

District of Columbia

Registered Investment Advisory firm - (6/12/2018 Approved)

Florida

Registered Investment Advisory firm - (6/4/2018 Approved)

Georgia

Registered Investment Advisory firm - (8/17/2018 Approved)

Louisiana

Registered Investment Advisory firm - (1/31/2022 Approved)

Mississippi

Registered Investment Advisory firm - (2/18/2022 Approved)

New Jersey

Registered Investment Advisory firm - (5/10/2018 Approved)

New York

Registered Investment Advisory firm - (5/21/2021 Approved)

North Carolina

Registered Investment Advisory firm - (10/29/2020 Approved)

Ohio

Registered Investment Advisory firm - (1/27/2022 Approved)

Oklahoma

Registered Investment Advisory firm - (5/11/2022 Approved)

South Carolina

Registered Investment Advisory firm - (5/4/2021 Approved)

Tennessee

Registered Investment Advisory firm - (4/17/2019 Approved)

Texas

Registered Investment Advisory firm - (2/15/2022 Conditional Restricted)

Wisconsin

Registered Investment Advisory firm - (3/22/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR

Alabama
(7/5/2019)

IAR

Alabama
(7/12/2019)

RR

Florida
(7/5/2019)

IAR

Louisiana
(4/22/2024)

RR

Maine
(7/5/2019)

RR

Mississippi
(7/5/2019)

RR

Tennessee
(5/12/2021)

RR

Virginia
(7/5/2019)

RR

Wyoming
(3/13/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/21/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 4/25/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 2/24/1990

General Securities Representative Examination

SRO Registrations

RR

FINRA

Current Firm

JM

JEFFREY MATTHEWS WEALTH MANAGEMENT, LLC

CRD#: 155392 / SEC#: 801-132626

RIA

Registered Investment Advisory firm - (4/30/2025 Approved)

Alabama

Registered Investment Advisory firm - (6/27/2018 Approved)

California

Registered Investment Advisory firm - (6/20/2019 Approved)

Colorado

Registered Investment Advisory firm - (5/31/2019 Approved)

Connecticut

Registered Investment Advisory firm - (6/5/2018 Approved)

District of Columbia

Registered Investment Advisory firm - (6/12/2018 Approved)

Florida

Registered Investment Advisory firm - (6/4/2018 Approved)

Georgia

Registered Investment Advisory firm - (8/17/2018 Approved)

Louisiana

Registered Investment Advisory firm - (1/31/2022 Approved)

Mississippi

Registered Investment Advisory firm - (2/18/2022 Approved)

New Jersey

Registered Investment Advisory firm - (5/10/2018 Approved)

New York

Registered Investment Advisory firm - (5/21/2021 Approved)

North Carolina

Registered Investment Advisory firm - (10/29/2020 Approved)

Ohio

Registered Investment Advisory firm - (1/27/2022 Approved)

Oklahoma

Registered Investment Advisory firm - (5/11/2022 Approved)

South Carolina

Registered Investment Advisory firm - (5/4/2021 Approved)

Tennessee

Registered Investment Advisory firm - (4/17/2019 Approved)

Texas

Registered Investment Advisory firm - (2/15/2022 Conditional Restricted)

Wisconsin

Registered Investment Advisory firm - (3/22/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

30b Vreeland Road Suite 210, Florham Park, NJ 07932

Mailing Address

Phone number

(888) 467-3636

Established

Firm type

Fiscal year end

# of Employees

16

Regulatory assets under management

Total Number of Accounts	360
AUM (Assets Under Management)	$ 127,200,152

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

John S. Lyle

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Swift Lyle JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C.

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

STERNE, AGEE & LEACH, INC.

FIRST BIRMINGHAM SECURITIES CORPORATION

Primary Firm SEC Registration

JEFFREY MATTHEWS WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/21/1998

Series 63

Date: 4/25/1990

SIE

Date: 10/1/2018

Series 7

Date: 2/24/1990

FINRA

Current Firm

JEFFREY MATTHEWS WEALTH MANAGEMENT, LLC

Contact information

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

JEFFREY MATTHEWS WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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